What is the course syllabus?
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Topics covered in this chapter are:
- Introduction
- Regulatory Objectives and Initiatives
- Common Types of Infractions
Topics covered in this chapter are:
- CFRs as they Apply to Vulnerable Clients
- Know Your Product (KYP)
- Know Your Client (KYC)
- Suitability
- Relationship Disclosure
- Powers of Attorney
- Communication to Vulnerable Clients
- Marketing and Advertising to Vulnerable Investors
- Misleading Communications
Topics covered in this chapter are:
- Introduction
- Red Flags
- Financial Exploitation
- Powers of Attorney
- Diminished Capacity
- Example
- Trusted Contact Person
- Temporary Holds and “Safe Harbour”
Topics covered in this chapter are:
- Introduction
- Note Taking and Documentation
- Consequences of Noncompliance